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2 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
PRESIDENT
Vinicius Marques de Carvalho
COMMISSIONERS
Ricardo Machado Ruiz
Alessandro Serafin Octaviani Luis
Elvino de Carvalho Mendonça
Marcos Paulo Verissimo
Ana de Oliveira Frazão
Eduardo Pontual Ribeiro
GENERAL SUPERINTENDENT
Carlos Emmanuel Joppert Ragazzo
ATTORNEY GENERAL
Gilvandro Vasconcelos Coelho de Araújo
CHIEF ECONOMIST
Victor Gomes e Silva
EXECUTIVE DIRECTOR
Clovis Manzoni dos Santos Lores
PROJECT MANAGEMENT AND PLANNING UNIT
Mariana Boabaid Dalcanale Rosa – Head of Unit/ Specialist in Public Policies and Government Management
Mariane Cortat Campos Melo – Technical Assistant/ Specialist in Public Policies and Government Management
Euler Eduardo Machado Maia – Specialist in Public Policies and Government Management
3 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
SUMMARY Acronyms ............................................................................................................................................................. 5
Introduction ......................................................................................................................................................... 6
Strategic Reference Framework .......................................................................................................................... 8
Statement Of Mission .......................................................................................................................................... 8
Statement Of Vision ............................................................................................................................................ 8
Values .................................................................................................................................................................. 8
Strategic Map ...................................................................................................................................................... 9
Strategic Plan ..................................................................................................................................................... 11
1. Results Perspective .................................................................................................................................... 11
Strategies ........................................................................................................................................................... 11
2013 Goals ......................................................................................................................................................... 11
Deferred Goals ................................................................................................................................................... 12
Priorized Projects ............................................................................................................................................... 12
Indicators ........................................................................................................................................................... 12
2. Clients Perspective .................................................................................................................................... 13
Strategies ........................................................................................................................................................... 13
2013 Goals ......................................................................................................................................................... 13
Deferred Goals ................................................................................................................................................... 13
Priority Projects ................................................................................................................................................. 13
Indicators ........................................................................................................................................................... 13
3. Internal Processes Perspective .................................................................................................................. 14
Strategies ........................................................................................................................................................... 14
2013 Goals ......................................................................................................................................................... 14
Deferred Goals ................................................................................................................................................... 14
Priority Projects: ................................................................................................................................................ 14
Indicators ........................................................................................................................................................... 14
4. People And Infrastructure Perspective ..................................................................................................... 15
Strategies ........................................................................................................................................................... 15
2013 Goals ......................................................................................................................................................... 15
Deferred Goals ................................................................................................................................................... 15
4 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
Priority Projects ................................................................................................................................................. 15
Indicators ........................................................................................................................................................... 15
Bibliography ....................................................................................................................................................... 16
5 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
ACRONYMS
Asscom – Communication Unit
Assint – International Unit
Assplan – Project Management and Planning Unit
BSC – Balanced Scorecard
CADE – Administrative Council for Economic Defense
CGU – Union General Controlling
DA – Administrative Directorate
DEE – Economic Studies Unit
DPDE/SDE/MJ – Economic Protection and Defense Unit, from the extinct SDE
Enacc – National Anticartel Strategy
Endec – Competition Defense National School
EPPGG – Public Policy and Governmental Management Expert
GCR – Global Competition Review
PDTI – Information Technology Plan
PGPE – Executive Power General Plan
PinCADE – CADE’s Exchange Program
PPA – Multiannual Plan
Prodoc – International Cooperation Project with UNDP
SBDC – Brazilian Competition Policy System
SDE – Secretariat of Economic Monitoring
Seae/MF – Secretariat of Economic Monitoring, Ministry of Finance
Sic-CADE – Citizen Information System
Siscade – Procedural System
SG – General Superintendence
UNDP – United Nations Development Program
6 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
INTRODUCTION
“[Only a mission] can avoid the most common degenerative disease that affects the
organization: the fragmentation of its resources always limited by initiatives that
are ‘interesting’ or ‘apparently lucrative’ in order to concentrate them in a reduced
number of productive efforts.”
─Peter Drucker (2001: 41)
This document is a strategic benchmark for the Administrative Council for Economic Defense – CADE for the
2013 - 2016 period, it is the result of a reflection by the leaders after the changes brought by the Law no.
12.529, November 30th, 2011. This Law, implemented on May 29th, 2012, restructured the Brazilian
Competition Policy System and imposed some challenges to the autarchy.
The first challenge is the institutional reformulation of New CADE. The Council incorporated the instruction
phase of the merger filings (assigned previously to SDE, which integrates the Ministry of Justice), as well as
the anticompetitive practices (assigned previously from the SDE). This institutional reformulation required
some actions: (i) organizational reformulation; (ii) the extension and preparing of the workforce; (iii) the
adequacy of the physical structure, equipment and infrastructure of the Autarchy; (iv) and the review of
budget limits.
The second challenge is the adoption of the previous notification in merger filings proceedings. This change
removes Brazil of the short list of countries that analyses mergers and acquisitions after their conclusion. The
new legal framework imposed to CADE holds not only the incorporation of SEAE and SDE competences but
also the duty to analyze mergers filings prior to their concretion, which represents a substantial change in
the “modus operandi” of analyses and it requires bigger agility in the instruction and judgment of such cases.
The third challenge is to meet the deadlines. The Initiation Procedure for an Administrative Investigation
now has to be concluded in 30 days. The Administrative Investigation can transact in the General-
Superintendence for a maximum of 180 days, extendable for 60 more days when the process has a difficult
elucidation. The process of merger filings analyses must be concluded in 240 days, extendable for 60 upon
request from the parties of the business, or for 90 days upon request from the Tribunal. It is noticeable that
those deadlines present a big challenge when compared to the past periods of administrative process
analyses in general.
The goals in this document are results from the work of the CADE Strategic Planning Workshop, held on
February 4 – 7, 2013. The workshop was structured to consolidate a balance in the activities developed in
2012 and, based on the results achieved in the first months of the New Law, point projects and actions to be
priorities to CADE in the next few years.
It is important to highlight that the Strategic Map, approved by the Tribunal in 2011, was not modified.
7 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
It is also important to highlight that this plan is aligned to Brazil’s four-year governmental plan - PPA 2012-
2015 – “Plano Mais Brasil”, particularly with Program 2020 (Citizenship and Justice), Objective 0870: improve
and strengthen the Brazilian Competition Policy System (SBDC) through structuring the New CADE,
partnership institutionalization with other governmental institutions and international organisms,
enhancement of repressive and preventive procedures for competition enforcement, adoption of
educational practices for society and through the promotion of competition policy.
8 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
STRATEGIC REFERENCE FRAMEWORK
The Strategy Map was approved during a Council session on August 31st, 20111. This framework was
reviewed in February 2013, during CADE’s strategic planning meeting. The Balanced Scorecard (BSC)2 is the
methodology supporting the framework.
The option for using BSC reflects CADE’s efforts to reach a balance between long term and short term goals,
financial and non-financial measures, between tendency and occurrence indicators and, also, between
internal and external perspectives.
This broad set of objectives relies on a management and measurement system through which organizational
performance assessment relies on four perspectives: a) Results; b) Clients, c) Internal Processes and d)
People and Infrastructure. Thus, CADE has been working on indicators to enable the follow-up of its final
results by monitoring, at the same time, the progress on capacity building and acquisition of intangible
assets needed for future growth.
The reference framework is composed by the statements of mission and vision and by the strategic map, its
strategic objectives and indicators.
STATEMENT OF MISSION
STATEMENT OF VISION
VALUES Ethics
Justice
Effectiveness
Independence
Professionalism
1 Based on Order 115/2011/PRES/CADE.
2 Balanced Scorecard is a measuring and management methodology developed by the professors Harvard Business
School, Robert Kaplan e David Norton, in 1992.
To strive for the maintenance of a healthy economic environment, preventing
and repressing actual and potential acts against the economic order,
observing the due process of law in its material and formal components.
To be recognized as an essential institution for the well functioning of the
Brazilian Economy.
9 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
STRATEGIC MAP
The People and Infrastructure perspective is at the base of the map. It assembles objectives related to the
human and material resources and to information and integrated usage, all necessary to improve CADE’s
performance. This perspective is directly connected to the Pluriannual Plan (PPA) 2012-2015, initiative 03KL,
which reads: to restructure the Brazilian Competition Policy System through New CADE’s implementation
and functioning, provided with adequate structure and technical body needed to fulfill the demands and
procedures stated by Law Project nº 3937/2004, included the new merger notification procedure.
The Internal Process perspective is about efficiency on work and communication processes inside the
autarchy and to its external public.
The Clients perspective has its focus on who is affected by CADE´s activities, internally and externally. CADE´s
clients are: business society, lawyers, students, other Public Organs and international organs.
The Results perspective represents the impact expected from CADE´s activities. This perspective basically
depends on the good result from the others perspectives, especially the Clients´. It is also related to the PPA
2012-2015, 03KK, initiative: increase the effectiveness and efficiency of the Brazilian Competition Policy
System, prioritizing sectors that have a big social and economic impact, partnership with public
administration and international organs, encouraging the competition and strengthening the combat to
anticompetitive practices.
STATEMENT OF MISSION To strive for the maintenance of a healthy economic environment, preventing and repressing actual and potential acts against the
economic order, observing the due process of law in its material and formal components.
STRATEGIC MAP OF THE ADMINISTRATIVE COUNCIL FOR ECONOMIC DEFENSE - CADE
STATEMENT OF VISION To be recognized as an essential institution for the well functioning of the Brazilian Economy.
RES
ULT
S
To ensure technical,
independent and swift
decisions
To establish and
implement Competition
Defense Policies
To diffuse Competition Culture
in Brazil and to become an
international reference
To represent Brazil´s interest
before international forums and
other competition agencies
CLI
ENTS
To ensure the provision of
quality services to society
To maintain high level of technical interaction
with other international organizations and
bodies of the Brazilian Public Administration
To execute demands of servers
and internal employees properly
To enhance work and
management work in order to
reach excellence
INTE
RN
AL
PR
OC
ESSE
S To improve internal
and external
communication
PEO
PLE
AN
D
INFR
AST
RU
CTU
RE
To ensure human resources that
are capable and adequate to the
CADE´s needs
To ensure logistic
support that is adequate
to CADE´s needs
To promote the integrated
use of information
11 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
STRATEGIC PLAN
1. RESULTS PERSPECTIVE
There are four objectives on this perspective:
STRATEGIES
1. Invest on Procedural Follow Up System to ensure: meeting of deadlines and efficient management of
cases stock;
2. Make sectored judgments to consolidate the Council´s agreements;
3. Sign Cooperation Agreements with Regulatory Agencies and others Brazilian Public Organs to access
databases that contribute to studies and cases analyses;
4. Make researches to evaluate the economic effects of the economic defense policy;
5. Restore the National Anticartel Strategy (Enacc);
6. Reassess offsetting entry policy for the investment on regional laboratories for cartel investigations;
7. Increase efficient decisions, encouraging solutions based on agreements;
8. Cooperate with foreign anticartel agencies;
9. Strengthen International Unit and increase CADE’s participation on international events about
competition defense, developing its regional leadership role;
10. Establish International Cooperation Agreements focused on the instruction of proceedings,
information and document exchange;
11. Approach clients for the institution of mechanisms to prevent infractions against the economic
order;
12. Encourage academic work and debate about competition; and
13. Strengthen international cooperation projects with the United Nations Development Program
(UNDP).
2013 GOALS
Finalize backlog of mergers under former Law 8.884/94;
Try at least 71 anticompetitive practices proceedings;
Alter Internal Regulation , with revision of settlement agreements norms;
Review of the Horizontal Mergers Guidelines;
Operate a Workshop with the Judiciary to debate the competitive defense policies in the
administrative and judicial spheres;
Release CADE’s Fiftieth Commemorative Book;
Reinstate CADE’s Exchange Program (PinCade) ;
To establish and
implement Competition
Defense Policies
To diffuse Competition
Culture in Brazil and to
become an international
reference
To ensure technical,
independent and swift
decisions
To represent Brazil’s
interest before international
forums and other
competition agencies
12 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
Publish biannually CADE’s new Journal edition;
International PinCade;
Sign 5 (five) new International Cooperation Agreements; and
Sign 5 (five) new Cooperation Agreement with Regulatory Agencies and others authorities.
DEFERRED GOALS
Implement Procedural Follow Up for notification and monitor the administrative proceedings System
(CADE without paper *)3;
Review the Compliance Program*;
Implement, at least, 2 new cartel analysis and investigation laboratories in North and Midwest
regions*;
Open the Competition Defense National School (Endec)*;
Open CADE’s Intelligence Laboratory; and
Elaborate Vertical mergers guidelines.
PRIORIZED PROJECTS
1. CADE without paper;
2. Intelligence Laboratory;
3. Endec;
4. PinCADE and International PinCADE;
5. Restructure International Unit; and
6. International Cooperation Project with United Nations Development Program (UNDP) - (Prodoc
BRA/11/008).
INDICATORS
Number of stars obtained by CADE in the Global Competition Review (GCR) Magazine;
Average period of processing per process type in CADE (Days);
Number of students in CADE’s Exchange Program;
Number of signed International Agreements between CADE and other antitrust authorities;
Number of signed Cooperation Agreements between CADE and Regulatory Agencies or other organs
from Public Administration;
CADE’s participation on Annual Conferences of International Organs;
Number of anticompetitive practices judged by CADE (indicator PPA 2012-2015); and
Number of agreements signed annually (Leniencies, Cease and Desist agreements and Agreements in
merger files).
3*
Goal of PPA 2012-2015
13 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
2. CLIENTS PERSPECTIVE
There are three objectives:
STRATEGIES
1. Invest on Procedural and merging filings notification Follow Up System;
2. Improve the process of supply of examination and copies;
3. Set exchange with Regulatory Agencies and other Public Administration Organs;
4. Invest on welfare of CADE’s human resource;
5. Structure a General Ombudsman and the Citizen Information System (Sic-CADE); and
6. Follow up public contest for new servers for CADE alongside the work of the Ministry of Justice and
the Ministry of Planning.
2013 GOALS
Internal ruling for the supply of edited digital copies; and
Primary version of the new Procedural System (Siscade) being produced at this moment.
DEFERRED GOALS
To conclude Electronic notification of merger filings;
To conclude Digital copy supplying; and
To implement Ombudsman System.
PRIORITY PROJECTS
1. Siscade (part of the CADE without paper project); and
2. Work welfare and Citizen Server Appreciation.
INDICATORS
Number of appeals registered by the Sic-CADE; and
Citizen servers’ satisfaction (under construction).
To ensure the provision of quality
services to society
To execute demands of servers
and internal employees properly
To maintain high level of technical interaction with other international
organizations and bodies of the Brazilian Public Administration
14 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
3. INTERNAL PROCESSES PERSPECTIVE
There are two objectives for this perspective:
STRATEGIES
1. Review and improve critical workflows;
2. Improve accountability process;
3. Improve the management of data and review indicators;
4. Implement the sustainable management plan;
5. Reformulate CADE’s website, in order to make it interactive e multiplatform;
6. Create a relationship strategy with national and international medias;
7. Enhance citizen access, through the creation of more space on radio, TV and regional vehicles; and
8. Institutionalize intranet.
2013 GOALS
Agreed plan with the Federal Inspector General Office (Achieved) and all recommendations for an
internal audit (Achieved);
To Implement the sustainable management plan;
To Map and review the main workflows; and
Course of media Training for CADE’s Authorities (Achieved).
DEFERRED GOALS
• To conclude CADE’s new website; and
• To conclude CADE’s corporative Intranet.
PRIORITY PROJECTS:
1. To structure Communication Unit;
2. Operation excellence in the Administrative Directorate;
3. Social and Environmental Sustainability;
4. Indicators review; and
5. Open Government Agenda.
INDICATORS
Number of reference to CADE on on-line and print media; and
Pending recommendations from controlling organisms.
To enhance work and
management work in order to
reach excellence
To improve internal and external
communication
15 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
4. PEOPLE AND INFRASTRUCTURE PERSPECTIVE
There are three objectives for this perspective:
STRATEGIES
1. Increase the number of effective civil servants;
2. To monitor the selection process for appointment to offices of Specialists in Public Policy and
Government Management;
3. To create a training policy;
4. Invest in Information Technology infrastructure and management;
5. Negotiate the expansion of CADE’s budget and suggest new financial sources; and
6. Structure the Acquisition Plan.
2013 GOALS
Public Selection Process conducted for filling the vacant positions of the General Plan of the
Executive Branch (PGPE);
To structure Information Technology’s Unit;
To form the IT steering committee and to approve a new Master Plan for Information Technology
(PDTI);
To maintain high level of budget execution (above 95%);
To publicize training policy; and
New training plan was published.
DEFERRED GOALS
To institute competence management in CADE.
PRIORITY PROJECTS
1. To structure CADE’s IT unit;
2. Padlock (Physical and information security); and
3. SisCade (module of the CADE without paper).
INDICATORS
Number of capable human resource;
Percentage of scanned processes;
Percentage of executed budget.
To ensure human resources
that are capable and
adequate to the CADE’s needs
To promote the integrated
use of information
To ensure logistic support that
is adequate to CADE’s needs
16 Administrative Council for Economic Defense – CADE
Strategic Plan 2013 – 2016 (version 1.0)
BIBLIOGRAPHY Brasil. Controladoria-Geral da União (2011a). Portal da Transparência. Acesso:
www.portaldatransparencia.gov.br
Brasil. Conselho Administrativo de Defesa Econômica (2011b). CADE em Números. Disponível em:
www.CADE.gov.br/Default.aspx?1d1d1fe12eec2f0b2525
Brasil. Ministério do Planejamento (2013). Plano Plurianual. Disponível em:
http://www.planejamento.gov.br/secretaria.asp?cat=155&sub=175&sec=10##ppaAtual
Brasil. Conselho Administrativo de Defesa Econômica (2007). CADE Guia Prático do CADE. Disponível em:
www.CADE.gov.br/publicacoes/guia_CADE_3d_100108.pdf
Brasil. Presidência da República (2012). Decreto 7738 de 28 de maio de 2012. Disponível em:
http://www.planalto.gov.br/ccivil_03/_Ato2011-2014/2012/Decreto/D7738.htm
Brasil. Tribunal de Contas da União (TCU). Manual de Auditoria Operacional. Acesso:
http://portal2.tcu.gov.br/portal/pls/portal/docs/2058980.PDF
Drucker, Peter (2011) The Essential Drucker. Nova Iorque: Harper Collins Publishers.
ICN (International Competition Network) (2010). Agency Effectiveness Handbook. Disponível em:
http://www.internationalcompetitionnetwork.org/uploads/library/doc744.pdf
Martins, Humberto Falcão; Marini, Caio (2010). Um guia de governança para resultados na administração
pública. Brasília: Publix Editora.
OCDE (Organização para a Cooperação Econômica e o Desenvolvimento) (2010). OECD Reviews of Human
Resource Management in Government: Brazil 2010 - Federal Government. Disponível em:
www.oecdbookshop.org/oecd/display.asp?sf1=identifiers&st1=9789264082212